All posts tagged "insider dealing"
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138EnforcementSFC Wins Final Appeal in 2007 Insider Dealing Case
The Market Misconduct Tribunal and Court of Appeal both ruled against the SFC before the case was brought to the Court of Final Appeal.
April 8, 2021 -
666FeatureHKEX Proposes to Raise Profit Requirement for New IPOs
One option HKEX proposes is to raise the profit requirement for companies seeking to list in Hong Kong threefold, reflecting the growth of the Hang Seng Index since 1994.
November 30, 2020 -
544EnforcementFormer HKTV Staff Member Jailed for Insider Dealing
HKTV’s former senior regulatory affairs manager made over HK$160,000 in profit from trading on insider information in December 2013.
November 9, 2019 -
1.0K1Contributed ArticleRegulatory Data: Arrows for the Quiver?
Banks need to be cognisant of how the data they provide to regulators is being used, says Herbert Smith Freehills in its 2019 Global Bank Review.
October 25, 2019 -
673EnforcementHong Kong Finance Manager Convicted of Insider Dealing
A GEM stock finance manager was in possession of inside information related to unaudited losses and an impending share suspension when he and his father sold their shares in the company.
February 21, 2019 -
969EuropeIOSCO Members, ESMA Can Exchange Information Post-GDPR
A decision by the European Data Protection Board will enable the continued sharing of information between ESMA and securities regulators outside the EU, in compliance with GDPR.
February 15, 2019
